Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Giardino is a financial advisor with over 25 years of experience in the industry. Neil has a strong background in the financial services industry, having held positions at several prominent firms including Wells Fargo Securities, LLC, Wachovia Securities, LLC, and First Union Capital Markets Corp. Neil is currently a registered representative with Regions Securities LLC. Neil holds a variety of licenses and registrations including Series 7, 9, 10, 24, 57, 79, 99 and SIE, and is registered in all 50 states. Neil is dedicated to providing comprehensive financial advice to individuals and families.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
11/13/2018 - Present
Regions Securities LLC (Charlotte NC)
NC
07/01/2003 - 04/18/2018
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
06/10/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
11/03/1997 - 06/10/1999
CIBC WORLD MARKETS (NEW YORK NY)
NY
11/01/1995 - 11/03/1997
CIBC WOOD GUNDY SECURITIES CORP. (NEW YORK NY)
BC
Issued 05/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/19/2022
Series 24 - General Securities Principal Examination
BC
Issued 11/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/28/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/24/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 04/18/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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